Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
SO, WAI MIU
Chinese Name of Relevant Individual
蘇惠妙
HKMA Registration Number
AH4138
Current Registration
Not Applicable
Business Address
Not Applicable
Conditions
Not Applicable
Registration History
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
HKMA Registration Number
A
Registered Institution
CMB WING LUNG BANK LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
15 Nov 2018 - 01 Mar 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CMB WING LUNG BANK LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
15 Nov 2018 - 01 Mar 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
09 Mar 2017 - 02 Jun 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
09 Mar 2017 - 02 Jun 2018
Is an Executive Officer? (Yes / No)
No
Records: 1-4 of 4
Public Disciplinary Actions
Records of public disciplinary actions taken against the relevant individual by the SFC
Not Applicable
Records of public disciplinary actions taken against the relevant individual by the HKMA
Not Applicable
Public disciplinary actions (if any) that took effect over five years ago are not shown.
:
Name of Relevant Individual
SO, WAI MIU
:
Chinese Name of Relevant Individual
蘇惠妙
:
HKMA Registration Number
AH4138
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH4138
CMB WING LUNG BANK LIMITED
Type 1: dealing in securities
15 Nov 2018 - 01 Mar 2019
No
AH4138
CMB WING LUNG BANK LIMITED
Type 4: advising on securities
15 Nov 2018 - 01 Mar 2019
No
AH4138
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
09 Mar 2017 - 02 Jun 2018
No
AH4138
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
09 Mar 2017 - 02 Jun 2018
No
Records of public disciplinary actions taken against the relevant individual by the SFC
Not Applicable
Records of public disciplinary actions taken against the relevant individual by the HKMA
Not Applicable
Public disciplinary actions (if any) that took effect over five years ago are not shown.